oklahoma state bureau of investigation …
TRANSCRIPT
OKLAHOMA STATE BUREAU OF INVESTIGATION
CRIMINALISTIC SERVICES DIVISION
Firearm/Toolmark Quality Manual
Revision # 14 Effective Date: 09-07-2020
Page 1 of 14
SUBJECT: Firearm/Toolmark Quality Manual
Table of Contents
1. Introduction
1.1 Purpose and Scope
1.2 Definitions
1.3 Instrumentation and reference standards
2. Services Provided
2.1 Firearm Function Testing
2.2 Unknown Projectile Classification
2.3 Projectile Comparisons
2.4 Cartridge Case Comparisons
2.5 Restoration of Stamped Marks
2.6 Toolmark Comparative Analysis
2.7 Muzzle to Target Distance Determination
3. Criteria for Identification
3.1 Theory of Identification
4. Interpretation Guidelines
4.1 Range of Conclusions Possible When Comparing Toolmarks
4.2 Elimination Based on Differences in Individual Characteristics
4.3 Marks Used in Comparisons
5. Safety
6. Abbreviations
7. Case Record Documentation
8. Verifications
9. Attachments
OKLAHOMA STATE BUREAU OF INVESTIGATION
CRIMINALISTIC SERVICES DIVISION
Firearm/Toolmark Quality Manual
Revision # 14 Effective Date: 09-07-2020
Page 2 of 14
SUBJECT: Firearm/Toolmark Quality Manual
1. INTRODUCTION
1.1 Purpose and Scope
The Firearm and Toolmark Laboratory of the Oklahoma State Bureau of Investigation is
part of an accredited full-service laboratory system and tasked with the responsibility of
providing quality forensic science services in a timely manner to the criminal justice
community.
Types of cases analyzed in the Firearms Lab include cartridge case, bullet and firearm
identification and examination, serial number restoration, toolmark identification and
examination, muzzle-to-target distance determination and Integrated Ballistics
Identification System (IBIS) entry.
The goal of all criminalists involved in the firearm and toolmark laboratory is to provide
the most accurate and timely analyses possible. This Quality Manual has been
established to assist firearm and toolmark examiners in attaining this goal by clearly
delineating important practices throughout the Firearms Lab.
The purpose of this quality manual is to ensure the best practices when handling firearm
and toolmark evidence and documentation within the LIMS System (BEAST).
1.2 Definitions
Caliber - Firearm: The approximate diameter of the circle formed by the tops of the lands of a rifled barrel. Ammunition: A numerical term, without the decimal point, included in a cartridge name to indicate the nominal bullet diameter. A term used to designate the specific cartridge for which a firearm is chambered. Cannelure – A circumferential groove generally of a knurled or plain appearance on a bullet or cartridge case. Three uses include crimpling, lubrication and identification. Cartridge – A single unit of ammunition consisting of the case, primer, and propellant with one or more projectile(s). Also applies to a shotshell. Cartridge case – The container for all the other components which comprise a cartridge.
OKLAHOMA STATE BUREAU OF INVESTIGATION
CRIMINALISTIC SERVICES DIVISION
Firearm/Toolmark Quality Manual
Revision # 14 Effective Date: 09-07-2020
Page 3 of 14
SUBJECT: Firearm/Toolmark Quality Manual
Class Characteristics – Measureable features of a specimen which indicate a restricted group source. They result from design factors, and are therefore determined prior to manufacture. For bullets: caliber, number of lands/grooves, direction of twist and land/groove width. For cartridge cases: caliber, firing pin shape, general breechface marks (i.e. parallel, arched, etc.), extractor and ejector positions. Firearm – An assembly of a barrel and action from which a projectile(s) is propelled by products of combustion. Manual Safety- A manual safety is one that must be manually engaged and subsequently disengaged to permit normal firing. Passive Safety-A safety that is in place until the trigger is pulled Accidental Discharge Test -The examination of a firearm to determine if it is capable of firing without deliberate action on part of the shooter (i.e. if it will fire without the trigger being pulled) and if safety features of the firearm are operational. Firearm & Toolmark Identification – A discipline of forensic science which has as its primary concern to determine if a bullet, cartridge case or other ammunition component was fired by a particular firearm, or if a toolmark was produced by a particular tool. Individual characteristics – Marks produced by the random imperfections or irregularities of tool surfaces. These random imperfections or irregularities are produced incidental to manufacture and/or cause by use, corrosion, or damage. They are unique to that tool and distinguish it from all other tools. Ogive – The curved forward part of a bullet. Projectile – A non-spherical projectile for use in a rifled barrel and sometimes contained within a sabot; also known as a bullet. Tool – An object used to gain mechanical advantage. Also thought of as the harder of two objects which when brought into contact with each other, results in the softer one being marked. Note: a firearm is considered a tool; the marks left on fired bullets and fired cartridge cases are considered toolmarks
1.3 Instrumentation
The following instruments and reference standard are necessary to ensure correct results for analyses and examinations conducted in the Firearm and Toolmark Unit. These instruments and reference standards will be subjected to the requirements of QP 24 and they are as follows:
OKLAHOMA STATE BUREAU OF INVESTIGATION
CRIMINALISTIC SERVICES DIVISION
Firearm/Toolmark Quality Manual
Revision # 14 Effective Date: 09-07-2020
Page 4 of 14
SUBJECT: Firearm/Toolmark Quality Manual
a) Comparison Microscope
b) Digital Calipers
c) Balances
d) Stage Micrometers
e) Mitutoyo Steel Ruler
1.3.1 Reference Standard
a) Steel Gauge Block
2. SERVICES PROVIDED
This is not an all-inclusive list. However, if the desired analysis is not listed below, the request must be approved by the Lab Director or the Criminalist Administrator.
2.1 Firearm Function Testing
All submitted firearms will be tested for functionality, as allowed by the condition of the firearm, with the exception of No Analysis Cases.
2.2 Unknown Projectile Classification
If the submitted projectile(s) provides sufficient information, a list of possible firearm brands that could have fired the submitted projectile(s) can be created.
2.3 Projectile Comparisons
Includes evidence-to-evidence comparisons as well as evidence-to-firearm comparisons.
2.4 Cartridge Case Comparisons
Includes evidence-to-evidence comparisons as well as evidence-to-firearm comparisons.
2.5 Restoration of Stamped Marks
It is the responsibility of the submitting agency to run the restored serial number through eTrace, the ATF’s Electronic Tracing System.
2.6 Toolmark Comparative Analysis
OKLAHOMA STATE BUREAU OF INVESTIGATION
CRIMINALISTIC SERVICES DIVISION
Firearm/Toolmark Quality Manual
Revision # 14 Effective Date: 09-07-2020
Page 5 of 14
SUBJECT: Firearm/Toolmark Quality Manual
Toolmark examinations will only be conducted if the following are submitted: 1. The suspect tool 2. Unknown toolmark(s)
Test toolmark components from evidence tools are considered evidence and will be returned to the submitting agency with the tool. Additional test toolmark components may be collected and retained as references samples. Test toolmark components retained as reference samples will only be used for training and/or research purposes. Reference test toolmarks may not be used for identification or other evidence examinations.
2.7 Muzzle to Target Distance Determination
Distance determination examinations will be conducted when the following are submitted:
1. Target material with a questioned pattern and/or suspect bullet hole
o All target material must be dried; clothing wet with blood or other fluids should not be submitted until they have been dried.
o Suspect clothing (clothing from the shooter) will not be analyzed for distance determination.
o Target Material/Articles of clothing absent suspected bullet holes will not be analyzed.
o If the victim’s clothing cannot be submitted for viewing, photographs of the pattern(s) may be submitted; however, each photograph MUST contain a scale/ruler.
2. The suspect firearm. 3. Ammunition consistent with that used during the shooting. A narrative detailing a logical and reasonable cause for this analysis should accompany any determination request. This may be accomplished through email, phone or in-person communication with the requesting or submitting officer(s) and should be documented in the case narrative within the BEAST.
If only the victim’s clothing is available, the examiner can confirm the presence of residue but must refrain from reporting a distance.
Distance determination analysis provides the muzzle to target range of the firearm; it is not a measure of the suspect’s intent. The firearm examiner must be capable of articulating this point to all interested parties.
OKLAHOMA STATE BUREAU OF INVESTIGATION
CRIMINALISTIC SERVICES DIVISION
Firearm/Toolmark Quality Manual
Revision # 14 Effective Date: 09-07-2020
Page 6 of 14
SUBJECT: Firearm/Toolmark Quality Manual
The OSBI Firearm and Toolmark Unit will report muzzle to target distances after the analysis of the target material. A muzzle to target distance cannot be reported if the pattern is on the victim’s skin (i.e. stippling/tattooing). 4. OSBI forms QMA 4.2 and QMA 1.1 can be used to document the item(s) that is/are being examined. These form will be uploaded in the LIMS system.
3. CRITERIA FOR IDENTIFICATION
As endorsed by the Scientific Working Group for Firearms and Toolmarks (SWGGUN), the Association of Firearms and Tool Mark Examiners (AFTE) “Theory of Identification” as set forth in the AFTE Glossary is used as the acceptable standard.
3.1 AFTE Theory of Identification
1. The theory of identification as it pertains to the comparison of toolmarks enables opinions of common origin to be made when the unique surface contours of two toolmarks are in “sufficient agreement.”
2. This “sufficient agreement” is related to the significant duplication of random toolmarks as evidenced by the correspondence of a pattern or combination of patterns of surface contours. Significance is determined by the comparative examination of two or more sets of surface contour patterns comprised of individual peaks, ridges and furrows. Specifically, the relative height or depth, width, curvature and spatial relationship of the individual peaks, ridges and furrows within one set of surface contours are defined and compared to the corresponding features in the second set of surface contours. Agreement is significant when it exceeds the best agreement demonstrated between toolmarks known to have been produced by different tools and is consistent with agreement demonstrated by toolmarks known to have been produced by the same tool. The statement that “sufficient agreement” exists between two toolmarks means that the agreement is of a quantity and quality that the likelihood another tool could have made the mark is so remote as to be considered a practical impossibility. Currently the interpretation of individualization/identification is subjective in nature, founded on scientific principles and based on the examiner’s training and experience.
4. INTERPRETATION GUIDELINES The AFTE “Range of Conclusions Possible When Comparing Toolmarks” as set forth in the AFTE Glossary is used as the acceptable standard.
4.1 Range of Conclusions Possible When Comparing Toolmarks
OKLAHOMA STATE BUREAU OF INVESTIGATION
CRIMINALISTIC SERVICES DIVISION
Firearm/Toolmark Quality Manual
Revision # 14 Effective Date: 09-07-2020
Page 7 of 14
SUBJECT: Firearm/Toolmark Quality Manual
The examiner is encouraged to report the objective observations that support the findings of toolmark examinations. The examiner should be conservative when reporting the significance of those observations.
Identification: Agreement of a combination of individual and all discernible class characteristics where the extent of agreement exceeds that which can occur in the comparison of toolmarks made by different tools and is consistent with the agreement demonstrated by toolmarks known to have been produced by the same tool. Inconclusive: I. Some agreement of individual characteristics and all discernible class characteristics, but insufficient for an identification. II. Agreement of all discernible class characteristics without agreement or disagreement of individual characteristics due to an absence, insufficiency, or lack of reproducibility. III. Agreement of all discernible class characteristics and disagreement of individual characteristics, but insufficient for an elimination. Elimination: Significant disagreement of discernible class characteristics and/or individual characteristics. Unsuitable: Unsuitable for examination.
4.2 Elimination Based on Differences in Individual Characteristics
The OSBI firearm and toolmark unit allows the examiner to eliminate a particular firearm if there is sufficient disagreement of individual characteristics, while all class characteristics are in agreement. However, this type of elimination will require verification from a second qualified examiner. In toolmark comparisons, eliminations can only be made when there are differences in class characteristics.
4.3 Marks Used in Comparisons
Conclusions can only be made on marks left by the firearm during the firing and/or cycling process(es). These marks include, but are not limited to: breechface marks, firing pin impression, firing pin drag, chamber marks, extractor marks, ejector marks and ejection port marks. Analysts are required to document in their notes which of the above marks were used to make a determination. If more than one area is used, the analyst must state the result
OKLAHOMA STATE BUREAU OF INVESTIGATION
CRIMINALISTIC SERVICES DIVISION
Firearm/Toolmark Quality Manual
Revision # 14 Effective Date: 09-07-2020
Page 8 of 14
SUBJECT: Firearm/Toolmark Quality Manual
for each area used in the comparison. When cartridge cases are identified using either ejector or extractor the result must be reported as being cycled, as these marks can be made during both the cycling and/or the firing process.
It is recommended to cycle lab stock ammunition through the firearm in addition to test firing the firearm to separate the marks left by cycling alone versus firing.
If the examiner cannot attribute marks found on the cartridge case to a certain portion of the firearm (i.e. breechface, extractor, ejection port, etc.), the examiner cannot report that the cartridge cases were fired and/or cycled through the firearm.
5. SAFETY
If biological material is present, disinfect the evidence using a 1:10 bleach solution or any disinfectant labeled tuberculocidal. Every examiner should inform another examiner or any individual with direct access to the firearms laboratory before test firing any and all firearms. Refer to OSBI Policy 121.1.II.J and Directive 121.1 Appendix I for additional firearms safety information.
6. ABBREVIATIONS
The following are a list of approved abbreviations for Firearm/Toolmark case notes: Please note the listed abbreviations can be lower or upper case.
#TF number of test fires
ACP automatic Colt pistol
B near base area
BBL barrel
BRM bolt rotation marks
BEB brass enclosed base
BFM breechface marks
BPS brown paper sack
Br Brass
Conv conventional/standard rifling
CC Cartridge Case
CCFPI Concentric Circles in Firing Pin Impression
C/Scope comparison microscope
OKLAHOMA STATE BUREAU OF INVESTIGATION
CRIMINALISTIC SERVICES DIVISION
Firearm/Toolmark Quality Manual
Revision # 14 Effective Date: 09-07-2020
Page 9 of 14
SUBJECT: Firearm/Toolmark Quality Manual
CAL caliber
CCW counter clockwise
CHBR Chamber Marks
Class Class Characteristics
Cu Copper
CuW Copper Washed
CW clockwise
DA Double Action
DAO Double Action Only
DNMC Does not meet criteria
DT Drop Testing
EE evidence envelope
EJR ejector
EJR/PORT ejection port marks
ELIM elimination
EXT extractor
FTEX Failure to Extract
FTEJ Failure to Eject
FeCl Ferric Chloride
FED Federal
FMJ Full Metal Jacket
FP firing pin
FPI firing pin impression
FPD firing pin drag
G/W groove width measurement
Ga gauge
GEA groove engraved area
GD Gold Dot
GEA Groove engraved area
GI groove impression
GMB Glock Marksman Barrel
Gr grain
GRC general rifling characteristics
GSR gunshot residue
HS H/S HydraShok
HBWC hollow base wad-cutter
HCC High confidence candidate
HCl hydrochloric acid
HP hollow point
OKLAHOMA STATE BUREAU OF INVESTIGATION
CRIMINALISTIC SERVICES DIVISION
Firearm/Toolmark Quality Manual
Revision # 14 Effective Date: 09-07-2020
Page 10 of 14
SUBJECT: Firearm/Toolmark Quality Manual
IBIS Integrated Ballistics Identification System
ID identification
ID’d Identified
IDed Identified
IMIS insufficient matching individual striae
IMP impressions
INSUF insufficient
INA Insufficient Agreement
INC inconclusive
IRC individual rifling characteristics
JHP jacketed hollow point
JSP jacketed soft point
L left
L/G number of lands and grooves
L/W land width measurement
LEA land engraved area
LI land impression
LR/L Long Rifle/Long
LRN lead round nose
MA machine gun
MAG magnum
MAG/LIP magazine lip marks
MC Metal Case
N/A not applicable
N near nose area
NaRho Sodium Rhodizonate
NIBIN National Integrated Ballistic Information Network
Ni Nickel
NSFI Not Suitable for IBIS Entry
O/U over / under
Poly polygonal rifling
Pb lead
PCC Primed Cartridge Case
PD Pistol Derringer
PI Semi-Automatic Pistol
PR Revolver
PRT projectile recovery tank
PS single-shot pistol
PX pistol, four or more barrels
OKLAHOMA STATE BUREAU OF INVESTIGATION
CRIMINALISTIC SERVICES DIVISION
Firearm/Toolmark Quality Manual
Revision # 14 Effective Date: 09-07-2020
Page 11 of 14
SUBJECT: Firearm/Toolmark Quality Manual
R right
RA Automatic/Select fire rifle
RB Bolt-Action rifle
RC Rifle Carbine
RE double-barreled rifle
RI semi-automatic rifle
RL lever-action rifle
RP pump action rifle
R-P Remington-Peters
RR revolving-action rifle
RS single-shot rifle
S shotgun (general)
SA single action
SB bolt-action shotgun
SE double-barreled shotgun
SF striker fired
SI semi-automatic shotgun
SMG submachine gun
SN serial number
SP pump action shotgun
SPL special
SPR Speer
SPRG Springfield
SR revolving-action shotgun
SS single-shot shotgun
STR striations
Subm/w submitted with
Susp suspect
SWC semi-wadcutter
SXT Super Expanding Talon
T/T test/test matched
TF# item number of test fire used
TF Test Fire
TFCC Test Fire Cartridge Case
TMJ total metal jacket
Vic victim
WC wadcutter
WIN Winchester
mm millimeter
OKLAHOMA STATE BUREAU OF INVESTIGATION
CRIMINALISTIC SERVICES DIVISION
Firearm/Toolmark Quality Manual
Revision # 14 Effective Date: 09-07-2020
Page 12 of 14
SUBJECT: Firearm/Toolmark Quality Manual
IN “ inches
(V) Verified
7. CASE RECORD DOCUMENTATION
Before beginning analysis, ensure the proper sequence of tests has been conducted (serology, latent prints, firearms). Use the guidelines set forth in the Firearm/Toolmark Unit Protocols to document the submitted evidence. Use only the information present on or about the evidence to fill out the documentation worksheets do not rely on the RFLE. Per QM 7.8.1.2 the results of all testing and examination of any evidence items that is conducted by OSBI CSD personnel will be reported accurately, clearly, unambiguously, and objectively in a written Examination Report. If additional information about the evidence is added to the worksheet, the source should be properly documented in the case record. However, the examiner is permitted to expand manufacturer’s abbreviations on cartridge case headstamps. Prior to use, all equipment shall be confirmed as having current calibration verification. Evidence can be labeled on any surface, as long as the label does not obstruct or cover any manufacturer’s marks, marks used for identification, etc. In accordance with QP 16.2, the start date of analysis will be defined as the earliest date the examiner logs in his/her notes/worksheets. The end date of analysis will be defined as the date that the report is approved. Test fired ammunition components will be returned to the submitting agency and any that are retained by the lab will not be used to make comparisons. Over-all photographs of all firearms-related evidence shall be taken and maintained in the case file for inventory and review purposes. The exception to this is cases that are submitted for IBIS/NIBIN only, that need to be fast tracked. When working this type of case, the analyst is not required to take an overall photograph of the firearms-related accessories (i.e. ammunition, holsters or cleaning items etc.); however, the analyst must itemize and document their disposition in their report. A close-up photograph of the firearm's serial number (on the frame/receiver, as applicable) shall also be taken and maintained in the case file. Photographic
OKLAHOMA STATE BUREAU OF INVESTIGATION
CRIMINALISTIC SERVICES DIVISION
Firearm/Toolmark Quality Manual
Revision # 14 Effective Date: 09-07-2020
Page 13 of 14
SUBJECT: Firearm/Toolmark Quality Manual
documentation should be labeled with item number(s) of the evidence depicted in the photograph(s) by either a text box below the photo(s), or the photo(s) is stored with the item worksheet.
The following forms shall be used to fulfill this requirement: OSBI FA QMA 1 General Images OSBI FA QMA 4 Muzzle to Target Distance Determination OSBI FA QMA 8 Firearm Documentation Worksheet OSBI FA QMA 9 Unfired Cartridge Documentation Worksheet OSBI FA QMA 10 Fired Bullet Documentation Worksheet OSBI FA QMA 11 Fired Cartridge Case Documentation Worksheet OSBI FA QMA 12 Shotshell Documentation Worksheet OSBI FA QMA 13 Shotshell Wad Documentation Worksheet OSBI FA QMA 14 Shot Documentation Worksheet OSBI FA QMA 15 Tool Documentation Worksheet OSBI FA QMA 16 Toolmark Documentation Worksheet
Each form shall be saved as a PDF and uploaded to the image vault within the BEAST. Any identification or elimination based on individual characteristics must be documented with a representative photograph, labeled with the OSBI lab number and the items depicted and uploaded to the image vault within the BEAST.
Note: Eliminations based on class characteristics can be documented with a narrative in case notes; a photograph is not required.
The Firearm/Toolmark Unit will perform technical reviews on 100% of cases.
8. VERIFICATIONS
All identifications and all eliminations based on individual characteristics must be verified and technically reviewed by a second qualified examiner. Note: If the primary examiner and the verifying examiner cannot concur on their conclusion, the Technical Manager will make the final determination in the case. In the event that the Technical Manager is one of the analysts involved in the disagreement another examiner will make the final determination in the case. Note: Any differences between the original and final conclusions will be documented in LIMS system (BEAST) as a narrative. The verifying examiner must observe the comparison on a comparison microscope. This may be accomplished by the transferring of evidence to the verifying examiner or
OKLAHOMA STATE BUREAU OF INVESTIGATION CRIMINALISTIC SERVICES DIVISION
Firearm/Toolmark Quality Manual Revision # 14
Effective Date: 09-07-2020 Page 14 of 14
SUBJECT: Firearm/Toolmark Quality Manual
by asking the verifying examiner to observe the comparison on the primary examiner’s microscope.
Note: If the evidence is transferred, this transfer must be documented in the LIMS System (BEAST).
All verifications will be documented in the case file by the verifying examiner’s signature on OSBI FA QMA 2, Comparison Verification. Form OSBI FA QMA 2, Comparison Verification shall be saved and uploaded to the image vault within the BEAST.
All restored or partially restored serial numbers must be verified by a second qualified examiner. Form OSBI FA QMA 3, Serial Number Restoration shall be used to document the serial number restoration and the verification of the [partially] restored number. Form OSBI FA QMA 3, Serial Number Restoration shall be scanned and uploaded to the image vault within the BEAST.
9. ATTACHMENTS
OSBI FA QMA 1 Rev. 1 General ImagesOSBI FA QMA 2 Rev. 4 Comparison VerificationOSBI FA QMA 3 Rev. 2 Serial Number RestorationOSBI FA QMA 4 Rev. 2 Muzzle to Target Distance DeterminationOSBI FA QMA 8 Rev. 2 Firearm Documentation WorksheetOSBI FA QMA 9 Rev. 1 Unfired Cartridge Documentation WorksheetOSBI FA QMA 10 Rev. 1 Fired Bullet Documentation WorksheetOSBI FA QMA 11 Rev. 2 Fired Cartridge Case Documentation WorksheetOSBI FA QMA 12 Rev. 1 Shotshell Documentation WorksheetOSBI FA QMA 13 Rev. 1 Shotshell Wad Documentation WorksheetOSBI FA QMA 14 Rev. 1 Shot Documentation WorksheetOSBI FA QMA 15 Rev. 1 Tool Documentation WorksheetOSBI FA QMA 16 Rev. 1 Toolmark Documentation Worksheet
AUTHOR: Terrance Higgs, Firearm/Toolmark Supervisor
APPROVAL
Technical Date: Manager _____________________________________ _______________
Terrance Higgs
Assistant Date: Director _____________________________________ _______________
Andrea Fielding
9/3/2020